Escalation Management Process

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         Escalation Process


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         California Health and Human Services Agency, Office of Systems Integration
< Project Name> Project                                                     Escalation Process
Office of System Integration (OSI)                                        < Date of Document >



Revision History


      REVISION            DATE OF RELEASE                         PURPOSE
Baseline                                    Initial Release (iManage SIDdocs #xxx vx)




Approvals


                   NAME                                    ROLE                         DATE




< Instructions for using this template are included in the Escalation
Process Tailoring Guide (SIDdocs 3332) available from the Best
Practices web site (http://www.bestpractices.cahwnet.gov).
As a minimum, refer to the tailoring guide for all the areas below
marked in blue font. Replace these references with project-specific
text unique to your particular project needs.
(Note that some hyperlinks are also depicted in blue font with underlining. The
hyperlinks generally should remain.) >




IManage# < DB Name > eca164fe-b625-4967-8988-98c537a07923.doc
< Project Name> Project                                                                                            Escalation Process
Office of System Integration (OSI)                                                                               < Date of Document >



                                                      Table of Contents


1. INTRODUCTION.............................................................................................................................. 1
   1.1  PURPOSE ................................................................................................................................ 1
   1.2  SCOPE .................................................................................................................................... 1
   1.3  REFERENCES .......................................................................................................................... 1
   1.4  GLOSSARY AND ACRONYMS ..................................................................................................... 1
2. PARTICIPANTS ROLES AND RESPONSIBILITIES ...................................................................... 2
3. ESCALATION PROCESS APPROACH ......................................................................................... 2
   3.1 IDENTIFICATION AND NOTIFICATION OF ESCALATION .................................................................. 2
   3.2 JOINT ESCALATION DISCUSSIONS ............................................................................................. 3
   3.3 ESCALATION TO HIGHER LEVEL (IF NECESSARY)........................................................................ 3
   3.4 RESOLUTION AND CLOSURE ..................................................................................................... 3




                                                          List of Figures

FIGURE 1. ESCALATION PROCESS FLOW CHART ......................................................................................... 2




IManage# < DB Name > eca164fe-b625-4967-8988-98c537a07923.doc
< Project Name> Project                                              Escalation Process
Office of System Integration (OSI)                                 < Date of Document >

1. INTRODUCTION

1.1    Purpose
This document is the Escalation Process for the <Project Name> Project. The
purpose of the process is to raise an issue, action or concern to a higher-level of
management for resolution, particularly when resolution cannot be reached at the
project level. The project should always strive to make decisions and address items
at the lowest level possible, however when a resolution cannot be reached, the item
should be escalated to ensure a decision is made before it causes impacts to the
project.
This document will be reviewed at least annually and updated, as needed, as a
result of continuous process improvement efforts by the project management team.
Lessons learned will be captured at the end of each project phase and used to
improve the division-level standards.

1.2    Scope
This Escalation Process identifies the procedures used to coordinate the discussion
and resolution of critical items. In addition to documenting the approach to
escalation, the process covers who participates in escalation, and how resolutions
are documented.

1.3    References

1.3.1 Best Practices Website
For guidance on the Office of System Integration (OSI) escalation methodology refer
to the OSI Best Practices website (BPweb) (http://www.bestpractices.cahwnet.gov).
The escalation materials are available through the Communications Management
area via the “By Function-Phase” link.

1.3.2 Project iManage Repository
Refer to the iManage repository located at < path and/or server > for all project-
specific documentation associated with escalation.

1.4    Glossary and Acronyms
BPweb            Best Practices for Systems Acquisition web site
                 (http://www.bestpractices.cahwnet.gov)
IT               Information Technology
MTS II           Management Tracking System II (two)
OSI              Office of Systems Integration




iManage < DB Name > eca164fe-b625-4967-8988-98c537a07923.doc                          1
< Project Name> Project                                                 Escalation Process
Office of System Integration (OSI)                                    < Date of Document >

2. PARTICIPANTS ROLES AND RESPONSIBILITIES
< Refer to Tailoring Guide for suggestions on entering project-specific information. >
The following are the participants and the level of the escalation process in which
they participate.
                          Table 1. Participants by Escalation Level
                              ST                          ND
                             1 LEVEL                      2 LEVEL




3. ESCALATION PROCESS APPROACH
The escalation process consists of four steps.
         Identification and Notification of Escalation
         Joint Escalation Discussions
         Escalation to Higher Level (if necessary)
    Resolution and Closure
< Refer to Tailoring Guide for suggestions on entering project-specific information. >


                          Figure 1. Escalation Process Flow Chart


                                     < Insert chart here >

3.1       Identification and Notification of Escalation
Several processes may trigger the escalation process including issue tracking,
contract management, and risk management. This process assumes that prior
attempts have been made to resolve the item and the appropriate parties cannot
reach a resolution.
When an item is escalated, the appropriate participants are notified by formal letter
which includes the date of the scheduled meeting. The meeting must be scheduled
within five days of the notification of escalation.
The notice of escalation includes a summary of the concern/issue and the analysis
of each party’s position. The participants must review the analysis and concerns
prior to the scheduled meeting.



iManage < DB Name > eca164fe-b625-4967-8988-98c537a07923.doc                             2
< Project Name> Project                                               Escalation Process
Office of System Integration (OSI)                                  < Date of Document >

If an action item does not already exist to track the item, an action is opened in <
MTS II > to track the progress of the resolution. All correspondence is stored in
iManage and cross-referenced to the action item in < MTS II >.
< Refer to Tailoring Guide for suggestions on entering project-specific information. >

3.2    Joint Escalation Discussions
The involved parties meet to discuss the item. The participants discuss the item,
each other’s position (if appropriate), the impacts of not resolving the item, and the
key points of the issue or disagreement. Meeting minutes are documented and
representatives from both sides must sign the minutes.
If the item is resolved at the meeting, the Project Manager sends a letter to the other
party indicating the proposed resolution and detailed discussion of the key points.
Both parties work together to implement the resolution and the action item is closed
in < MTS II >.
If the item cannot be resolved at the meeting, the committee may call for another
meeting or may escalate the item to the next level if they cannot resolve the item.
< Refer to Tailoring Guide for suggestions on entering project-specific information. >

3.3    Escalation to Higher Level (if necessary)
Ten days after the notice of escalation was received (or sent), the Escalation
Process moves to the next level of management. Note that the project must move to
the next level of management if the time limit expires.
On the tenth day, the Project Manager sends a Notification of Escalation to the
participants in the next level of escalation and schedules the meeting. The process
is the same as described in the previous section. Only the participants are different.
< Refer to Tailoring Guide for suggestions on entering project-specific information. >

3.4    Resolution and Closure
When a resolution is reached between the project office and the other party, a
detailed discussion of the resolution and decision is documented, stored in iManage
and referenced in the action item. The appropriate parties (including sponsor, users
and stakeholders) are notified of the resolution and work together to perform the
resolution. Upon completion of the resolution, the action item in < MTS II > is closed.
< Refer to Tailoring Guide for suggestions on entering project-specific information. >




iManage < DB Name > eca164fe-b625-4967-8988-98c537a07923.doc                             3

				
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